Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, SAU LIN SALLY
Chinese Name of Relevant Individual
林秀蓮
HKMA Registration Number
AA1634
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Apr 2020 - 08 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Apr 2020 - 08 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 1: dealing in securities
Effective Period
11 Aug 2017 - 17 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CREDIT SUISSE AG
Regulated Activity
Type 4: advising on securities
Effective Period
11 Aug 2017 - 17 Jan 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
29 Aug 2015 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
29 Aug 2015 - 14 Jul 2017
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
08 Feb 2013 - 15 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
08 Feb 2013 - 15 Mar 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Mar 2006 - 04 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
14 Mar 2006 - 04 Feb 2013
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 4: advising on securities
Effective Period
17 Nov 2005 - 05 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BARCLAYS BANK PLC
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Feb 2005 - 05 Mar 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 27 Jan 2005
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK, N.A.
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 27 Jan 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LAM, SAU LIN SALLY
:
Chinese Name of Relevant Individual
林秀蓮
:
HKMA Registration Number
AA1634
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1634
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
14 Apr 2020 - 08 Jul 2022
No
AA1634
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
14 Apr 2020 - 08 Jul 2022
No
AA1634
CREDIT SUISSE AG
Type 1: dealing in securities
11 Aug 2017 - 17 Jan 2020
No
AA1634
CREDIT SUISSE AG
Type 4: advising on securities
11 Aug 2017 - 17 Jan 2020
No
AA1634
WING LUNG BANK LIMITED
Type 1: dealing in securities
29 Aug 2015 - 14 Jul 2017
No
AA1634
WING LUNG BANK LIMITED
Type 4: advising on securities
29 Aug 2015 - 14 Jul 2017
No
AA1634
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
08 Feb 2013 - 15 Mar 2015
No
AA1634
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
08 Feb 2013 - 15 Mar 2015
No
AA1634
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
14 Mar 2006 - 04 Feb 2013
No
AA1634
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
14 Mar 2006 - 04 Feb 2013
No
AA1634
BARCLAYS BANK PLC
Type 4: advising on securities
17 Nov 2005 - 05 Mar 2006
No
AA1634
BARCLAYS BANK PLC
Type 1: dealing in securities
04 Feb 2005 - 05 Mar 2006
No
AA1634
CITIBANK, N.A.
Type 1: dealing in securities
01 Apr 2003 - 27 Jan 2005
No
AA1634
CITIBANK, N.A.
Type 4: advising on securities
01 Apr 2003 - 27 Jan 2005
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.